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Benjamin Patrick Howard

CRD# 7122929·Registered 2019 - 2022
Previously Registered: Being a previously registered professional could mean that Benjamin is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Benjamin Patrick Howard, who also goes by Ben Patrick Howard, was a registered financial advisor. Benjamin was a previously registered financial professional and started their career in finance 2019 - 2022. Benjamin had worked at 1 firm and has passed the Series 65 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Ben Patrick Howard

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

7 years in the financial services industry

Current & Past Employments

ALPHA SQUARED CAPITAL, LLC·CRD# 300797
RIA
Scottsdale, AZ
July 18, 2019 - July 26, 2022

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Current Firm

AS
ALPHA SQUARED CAPITAL, LLC

ALPHA SQUARED CAPITAL, LLC

CRD#: 300797 / SEC#: 801-114847
RIA
Registered Investment Advisory firm - SEC (8/27/2019 Terminated)
Arizona
Registered Investment Advisory firm - Arizona (8/23/2019 Approved)
New Jersey
Registered Investment Advisory firm - New Jersey (5/18/2021 Approved)
Texas
Registered Investment Advisory firm - Texas (8/26/2019 Approved)
Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

5020 E. Shea Blvd #255, Scottsdale, AZ 85254

Phone Number

(480) 470-6200

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

213

AUM (Assets Under Management)

$35,392,597

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Seeking Alpha; investment related (Analysis on potential investment); 52 Vanderbilt Avenue, New York, NY 10017; Financial Journal; Independent Writer; Contributor; Start Date- May 31, 2021; 20 hrs/month; 0 hrs during trading hours; I research, analyze, and organize my thoughts through written articles on publicly traded securities; AccessCoin, LLC; not investment related; 7712 E. Lewis Ave., Scottsdale, AZ 85257; cryptocurrency; Principal Manager; 01/06/2022; 1 hour per month; 0 hours per month during trading hours; manages cryptocurrency ATM lease agreements with the machine operators

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2019About the Series 65 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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